[Federal Register Volume 81, Number 190 (Friday, September 30, 2016)]
[Notices]
[Pages 67398-67401]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-23672]


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OFFICE OF MANAGEMENT AND BUDGET


Standards for Maintaining, Collecting, and Presenting Federal 
Data on Race and Ethnicity

AGENCY: Executive Office of the President, Office of Management and 
Budget (OMB).

ACTION: Review and Possible Limited Revision of OMB's Statistical 
Policy Directive on Standards for Maintaining, Collecting, and 
Presenting Federal Data on Race and Ethnicity.

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SUMMARY: The Standards for Maintaining, Collecting, and Presenting 
Federal Data on Race and Ethnicity were last revised in 1997 (62 FR 
58782, Oct. 30, 1997; see https://www.whitehouse.gov/omb/fedreg_1997standards). Since these revisions were implemented, much has 
been learned about how these standards have improved the quality of 
Federal information collected and presented on race and ethnicity. At 
the same time, some areas may benefit from further refinement. 
Accordingly, OMB currently is undertaking a review of particular 
components of the 1997 standard: The use of separate questions 
measuring race and ethnicity and question phrasing; the classification 
of a Middle Eastern and North African group and reporting category; the 
description of the intended use of minimum reporting categories; and 
terminology used for race and ethnicity classifications. OMB's current 
review of the standard is limited to these areas. Specific questions 
appear under the section, ``Issues for Comment.''

DATES: Comments on the review and possible limited revisions to OMB's 
Standards for Maintaining, Collecting, and Presenting Federal Data on 
Race and Ethnicity detailed in this notice must be in writing. To 
ensure consideration of comments, they must be received no later than 
[30 days from the publication of this notice]. Please be aware of 
delays in mail processing at Federal facilities due to increased 
security. Respondents are encouraged to send comments electronically 
via email, or http://www.regulations.gov (discussed in ADDRESSES 
below).

ADDRESSES: Written comments on these issues may be addressed to 
Katherine K. Wallman, Chief Statistician, Office of Management and 
Budget, 1800 G St., 9th Floor, Washington, DC 20503. You may also send 
comments or questions via Email to [email protected] or to 
http://www.regulations.gov--a Federal E-Government Web site that allows 
the public to find, review, and submit comments on documents that 
agencies have published in the Federal Register and that are open for 
comment. Simply type, ``Race-ethnicity'' (in quotes) in the Comment or 
Submission search box, click Go, and follow the instructions for 
submitting comments.
    Comments submitted in response to this notice may be made available 
to the public through relevant Web sites. For this reason, please do 
not include in your comments information of a confidential nature, such 
as sensitive personal information or proprietary

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information. If you send an email comment, your email address will be 
automatically captured and included as part of the comment that is 
placed in the public docket. Please note that responses to this public 
comment request containing any routine notice about the confidentiality 
of the communication will be treated as public comments that may be 
made available to the public notwithstanding the inclusion of the 
routine notice.
    Electronic Availability: This document is available on the Internet 
on the OMB Web site at: https://www.whitehouse.gov/sites/default/files/omb/inforeg/directive15/race-ethnicity_directive_2016FRN1.pdf.

FOR FURTHER INFORMATION CONTACT: Jennifer Park, Senior Statisitician, 
1800 G St., 9th Floor, Washington, DC 20503, Email address: [email protected], telephone number: (202) 395-9046.

SUPPLEMENTARY INFORMATION: 
    Background: Development work on the standards for classification of 
Federal data on race and ethnicity originated in the activities of the 
Federal Interagency Committee on Education (FICE), which was originally 
established by Executive Order 11185 in 1964. The FICE Subcommittee on 
Minority Education completed a report in April 1973 on higher education 
for Chicanos, Puerto Ricans, and American Indians, which noted in 
particular the lack of comparable data on racial and ethnic groups. 
Accordingly, the report called for the coordinated development of 
common definitions for racial and ethnic groups, and the Federal 
collection of racial and ethnic enrollment and other educational data 
on a compatible and nonduplicative basis.
    In June 1974, FICE created an Ad Hoc Committee on Racial and Ethnic 
Definitions whose 25 members came from Federal agencies with major 
responsibilities for the collection or use of racial and ethnic data. 
It took on the task of determining and describing the major groups to 
be identified by Federal agencies when collecting and reporting racial 
and ethnic data. The Ad Hoc Committee wanted to ensure that whatever 
categories the various agencies used could be aggregated, 
disaggregated, or otherwise combined so that the data developed by one 
agency could be used in conjunction with the data developed by another 
agency. In addition, the Ad Hoc Committee recommended that the 
categories could be subdivided into more detailed ethnic groups to meet 
users' needs, but that to maintain comparability, such detail data 
should aggregate into the minimum racial and ethnic categories.
    Following testing of proposed categories, and the receipt of 
comments and incorporation of suggested modifications, OMB on May 12, 
1977, promulgated for use by all Federal agencies minimum standard 
categories for the collection and presentation of data on race and 
ethnicity. (See 42 FR 1926 May 12, 1977.) (Although OMB required the 
agencies to use these racial and ethnic categories at a minimum, it 
should be emphasized that the standard permited collection of 
additional detail if the more detailed categories could be aggregated 
into the minimum racial and ethnic categories to allow comparability of 
data.)
    In 1994, OMB published a notice of proposed review and possible 
revision of the standard. (See https://www.whitehouse.gov/omb/fedreg_notice_15.) It requested comments on the adequacy of then 
current categories. Specifically, it asked for comments on the addition 
of a ``multiracial'' category; the addition of an ``Other Race'' 
category; use of an open-ended question to solicit information on race 
and ethnicity; the names of the ``Black'' category and the ``American 
Indian or Alaska Native'' category; including ``Native Hawaiians'' as a 
separate reporting category from the ``Asian or Pacific Islander'' 
category; adding Hispanic as a racial designation rather than 
ethnicity; and adding an ``Arab or Middle Eastern'' category as an 
ethnicity. OMB established an Interagency Committee for the Review of 
the Racial and Ethnic Standards, whose members represented the many and 
diverse Federal needs for racial and ethnic data, including statutory 
requirements for such data.
    In 1997, OMB published the recommendations of the Interagency 
Committee in its notice of decision. (See https://www.whitehouse.gov/omb/fedreg_1997standards.) Drawing from stakeholder input, Interagency 
Committee statistical analysis, and public comment, the standard was 
revised in several ways. It required separate measures of race and 
ethnicity, with the ``Hispanic or Latino'' ethnicity presented first. 
Respondents were offered the option of selecting one or more racial 
designations, with the use of the instructions ``Mark one or more'' and 
``Select one or more.'' ``AfricanAmerican'' was added to the category 
of ``Black.'' ``Native Hawaiian or Other Pacific Islander'' was created 
as a separate category from ``Asian or Pacific Islander.'' However, 
agreement could not be reached regarding the composition of an ``Arab/
Middle Eastern'' category, and no classification or category was 
therefore defined.
    Current Review: Since the 1997 revision, the U.S. population has 
continued to become more racially and ethnically diverse. Additionally, 
much has been learned about the implementation of these standards since 
they were issued approximately two decades ago. In accordance with good 
statistical practice, several Federal agencies have conducted 
methodological research to better understand how use of the revised 
standard informs the quality of Federal statistics on race and 
ethnicity.
    In 2014, OMB formed an Interagency Working Group for Research on 
Race and Ethnicity to exchange research findings, identify 
implementation issues, and collaborate on a shared research agenda to 
improve Federal data on race and ethnicity. The Working Group comprises 
representatives from ten cabinet departments and three other agencies 
engaged in the collection or use of Federal race and ethnicity data.
    Through its systematic review of the implemention of the 1997 
revision and stakeholder feedback, the Working Group identified four 
particular areas where further revisions to the standard might improve 
the quality of race and ethnicity information collected and presented 
by Federal agencies. Specifically, these four areas include:
    1. The use of separate questions versus a combined question to 
measure race and ethnicity and question phrasing;
    2. the classification of a Middle Eastern and North African group 
and distinct reporting category;
    3. the description of the intended use of minimum reporting 
categories; and
    4. the salience of terminology used for race and ethnicity 
classifications and other language in the standard.
    Issues for Comment: With this Notice, OMB is seeking comments from 
the public on: (1) The adequacy of the current standard in the areas 
identified for focused review (see detailed descriptions below); (2) 
specific suggestions for the identified areas that have been offered; 
and (3) principles that should govern any proposed revisions to the 
standards in the identified areas.
    Question Format & Nonresponse: Although many respondents report 
within the race and ethnicity categories specified by the standard, 
recent censuses, surveys, and experimental tests have shown that its 
implementation is not well understood and/or is considered inadequate 
by some respondents. This results in respondents' inability and/or

[[Page 67400]]

unwillingness to self-identify as the standard intends.
    For a growing segment of respondents, this situation arises because 
of the conceptual complexity that is rooted in the standard's 
definitional distinction of race from ethnicity. Nearly half of 
Hispanic or Latino respondents do not identify within any of the 
standard's race categories (Rios et al. 2014; see https://www.census.gov/population/www/documentation/twps0102/twps0102.pdf). 
With the projected steady growth of the Hispanic or Latino population, 
the number of people who do not identify with any of the standard's 
race categories is expected to increase (Compton et al. 2012; see 
https://www.census.gov/2010census/pdf/2010_Census_Race_HO_AQE.pdf; Rios 
et al. 2014). Additionally, although the reporting of multiple races is 
permitted according to the current standard, reporting multiple 
Hispanic origins or a mixed Hispanic/non-Hispanic heritage in the 
current Hispanic ethnicity question is not permitted. (Please note: The 
terms `Hispanic or Latino'' and ``Hispanic'' are used interchangeably 
in this Notice.)
    To explore this issue further, the U.S. Census Bureau conducted the 
2010 Census Race and Hispanic Origin Alternative Questionnaire 
Experiment (AQE). Among its most notable findings was that a combined 
question design (rather than the current standard of separate 
questions) yielded a substantially increased use of OMB standard 
categories among Hispanic or Latino respondents, signaling that a 
combined question approach may better reflect how Hispanic or Latino 
respondents view themselves (see https://www.census.gov/2010census/pdf/2010_Census_Race_HO_AQE.pdf). Qualitative aspects of this research 
further supported this interpretation. The Federal Interagency Working 
Group for Research on Race and Ethnicity continues to examine this 
proposal. If a combined measure were to be used outside of a limited, 
methodological experiment, it would be necessary for OMB to revise the 
current standard.
    Middle Eastern or North African: According to the current standard, 
the aggregate reporting category of ``White'' race includes people 
having origins in any of the original peoples of Europe, the Middle 
East, or North Africa. During the periodic review preceding the 1997 
revision, OMB's Interagency Committee for the Review of the Racial and 
Ethnic Standards considered suggestions to require an additional, 
distinct minimum reporting category for respondents identifying as 
``Arabs or Middle Easterners.'' At the conclusion of the review, 
agreement could not be reached among public stakeholders on the 
intended measurement concept (i.e., whether the category should be 
based on language, geography, etc.) nor, accordingly, a definition for 
this category. The Committee took this public disagreement into 
consideration and thus did not issue a definition nor an additional, 
minimum reporting category for this group. Instead, OMB encouraged 
further research be done to determine the best way to improve data for 
``Arabs/Middle Easterners.'' The Federal Interagency Working Group for 
Research on Race and Ethnicity continues to examine this proposal, with 
input from multiple stakeholders. If consensus upon a definition for 
Middle Eastern or North African can be reached, with or without the 
requirement of an additional, separate, aggregate reporting category, 
OMB would need to revise the current standard to clarify the 
classification instructions. This would address potential 
inconsistencies across data collections where data describing a Middle 
Eastern or North African group could be reported separately for 
detailed analyses (for example, where sample size permits), but 
otherwise could be aggregated into the ``White'' reporting category to 
facilitate comparability across information collections that would not 
have large enough samples to permit separate, detailed reporting.
    Intent of Minimum Categories: The standard provides a minimum set 
of racial and ethnic categories for use when Federal agencies are 
collecting and presenting such information for statistical, 
administrative, or compliance purposes. However, it does not preclude 
the collection and presentation of additional detailed categories for 
statistical, administrative, or compliance purposes, provided that the 
additional detailed categories can be aggregated into the minimum set 
to permit comparisons. Specifically, the current standard advises, ``In 
no case shall the provisions of the standards be construed to limit the 
collection of data to the categories described above. The collection of 
greater detail is encouraged . . .''
    There are numerous examples of Federal agencies collecting detailed 
race and ethnicity data in their statistical reporting; these are not 
limited to decennial censuses or extremely large surveys, such as the 
American Community Survey (ACS). Nonetheless, OMB has learned that the 
minimum reporting categories as described in the current standard are 
often misinterpreted as the only permissible reporting categories. 
Accordingly, OMB has asked the Federal Interagency Working Group for 
Research on Race and Ethnicity to examine the language in the current 
standard in order to improve the understanding of the intended use of 
minimum categories, that is, to facilitate comparison across 
information collections, rather than to limit detailed race and ethnic 
group information collection and presentation.
    Terminology: As the diversity of the U.S. continues to increase, it 
becomes more important for people to understand the racial and ethnic 
terminology included in Federal data collection systems. The language 
used to describe race and ethnicity changes over time, and while some 
terminology continues to resonate with group members, other expressions 
may fall out of favor or take on other meanings.
    For example, the standard currently designates ``Black or African 
American'' as the ``principal minority race.'' This designation 
provides an option, in certain circumstances, for presentation of the 
``White'' category, the ``Black or African American'' category (as the 
`principal minority race') and the ``All Other Races'' category, 
without the requirement of also presenting other minimum reporting 
categories. The designation may warrant revision for several reasons. 
First, certain definitions of ``minority'' as including Hispanic (i.e., 
HR 4238; see https://www.congress.gov/bill/114th-congress/house-bill/4238), and the relative prevalence of the Hispanic or Latino population 
compared with the Black or African American population, suggest 
potential revision of the ``principal minority race'' designation, or 
the use of alternative terms (e.g., ``principal minority race/
ethnicity''). Perhaps most broadly, the utility of presenting a 
category of ``All Other Races,'' given the diversity of experience 
among other race/ethnicity groups, and the salience of designating a 
``principal minority'' for presentation purposes, suggests further 
review. The Federal Interagency Working Group for Research on Race and 
Ethnicity is examining such terminology for possible revision to the 
standard.
    Guidance for Review:
    Federal Uses of Race and Ethnicity Data: When providing comment 
regarding proposed areas for possible revision, it may be helpful to 
keep in mind how the standard is used. The standard not only guides 
information collected and presented from the decennial census and 
numerous other statistical collections, but also is used by Federal 
agencies for civil rights enforcement and for program

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administrative reporting. These include, among others:
     Enforcing the requirements of the Voting Rights Act;
     reviewing State congressional redistricting plans;
     collecting and presenting population and population 
characteristics data, labor force data, education data, and vital and 
health statistics;
     establishing and evaluating Federal affirmative action 
plans and evaluating affirmative action and discrimination in 
employment in the private sector;
     monitoring the access of minorities to home mortgage loans 
under the Home Mortgage Disclosure Act;
     enforcing the Equal Credit Opportunity Act;
     monitoring and enforcing desegregation plans in the public 
schools;
     assisting minority businesses under the minority business 
development programs; and
     monitoring and enforcing the Fair Housing Act.
    To most effectively promote information quality, the intended uses 
of data on race and ethnicity should be considered when changes to the 
standards are contemplated. Additionally, the possible effects of any 
proposed changes on the quality and utility of the resulting data must 
be considered.
    General Principles for the Review of the Racial and Ethnic Data 
Categories: When providing comment on particular areas of the current 
standard, it also may be helpful to consult the principles that framed 
the 1977 and 1997 revisions. Comments on these principles are welcomed.
    1. The racial and ethnic categories set forth in the standard 
should not be interpreted as being scientific or anthropological in 
nature.
    2. Respect for individual dignity should guide the processes and 
methods for collecting data on race and ethnicity; respondent self-
identification should be facilitated to the greatest extent possible.
    3. To the extent practicable, the concepts and terminology should 
reflect clear and generally understood definitions that can achieve 
broad public acceptance.
    4. The racial and ethnic categories should be comprehensive in 
coverage and produce compatible, nonduplicated, exchangeable data 
across Federal agencies.
    5. Foremost consideration should be given to data aggregations by 
race and ethnicity that are useful for statistical analysis, program 
administration and assessment, and enforcement of existing laws and 
judicial decisions, bearing in mind that the standards are not intended 
to be used to establish eligibility for participation in any Federal 
program.
    6. While Federal data needs for racial and ethnic data are of 
primary importance, consideration should also be given to needs at the 
State and local government levels, including American Indian tribal and 
Alaska Native village governments, as well as to general societal needs 
for these data.
    7. The categories should set forth a minimum standard; additional 
categories should be permitted provided they can be aggregated to the 
standard categories. The number of standard categories should be kept 
to a manageable size, as determined by statistical concerns and data 
needs.
    8. A revised set of categories should be operationally feasible in 
terms of burden placed upon respondents and the cost to agencies and 
respondents to implement the revisions.
    9. Any changes in the categories should be based on sound 
methodological research and should include evaluations of the impact of 
any changes not only on the usefulness of the resulting data but also 
on the comparability of any new categories with the existing ones.
    10. Any revision to the categories should provide for a crosswalk 
at the time of adoption between the old and the new categories so that 
historical data series can be statistically adjusted and comparisons 
can be made.
    11. Because of the many and varied needs and strong interdependence 
of Federal agencies for racial and ethnic data, any changes to the 
existing categories should be the product of an interagency 
collaborative effort.
    OMB recognizes that these principles may in some cases represent 
competing goals for the standard. Through the review process, it will 
be necessary to balance statistical issues, needs for data, and social 
concerns. The application of these principles to guide the review and 
possible revision of the standard ultimately should result in 
consistent, publicly accepted data on race and ethnicity that will meet 
the needs of the government and the public while recognizing the 
diversity of the population and respecting the individual's dignity.

Howard A. Shelanski,
Administrator, Office of Information and Regulatory Affairs.
[FR Doc. 2016-23672 Filed 9-29-16; 8:45 am]
 BILLING CODE 3110-01-P